Research
Prime Broker Toolkit
A complete playbook for building, optimizing, and safeguarding your prime brokerage operations.
AML Obligations in Prime Brokerage
Which firm has the customer for CIP and SAR purposes, and what each firm in a prime brokerage arrangement can see.
AML Exploitation in Send/Receive Workflows
Research on AML exploitation risks in workflows for sending or receiving securities.
AML Risk in Letter of Free Funds Purchases
What a Letter of Free Funds confirms, what it leaves to each firm's AML program, and the Notice 19-18 red flags that fit a DVP purchase.
Unconfirmed Positions in the 17a-13 Verification
What a position no third party will confirm can mean for fraud and AML review, with two real cases and the rules for an unresolved difference.
AML Risk in Done-Away Trades
Where AML monitoring splits between the executing broker and the firm that carries the account, with the SEC's 2018 Aegis case.
Regulatory Compliance Mapping
Which rules each Loffa product serves, from Regulation T’s 90-day freeze exception to Rule 17a-13 counts, and what each rule requires.
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